cfd Investments, Inc. Projects Info

cfd imageCreates and tracks project plans and timelines for each project while assembling, coordinating and managing multi-departmental teams for project completion. Resolves project inhibiting issues and responds to inquiries about projects. Chairs project reviews and provides reporting, advice, and assistance to department heads and team members. Maintains liaison role with management while assisting in developing plans, goals, objectives and procedures as they relate to projects.

Led a project that managed the Department of Labor Advice Regulation Compliance Rule

Far-reaching Department of Labor Fiduciary Advice Regulation issued for the retirement investment financial services industry and community. Though the regulation continues to evolve, aggressively managing the project thus far has enabled the firm to achieve compliance within acceptable tolerances, resulting in reaching an imperative milestone.

☑ This rule is constantly evolving to meet governmental standards and regulations.

☑ This project consists of 14 team members and myself
↔ 2 Lawyers, 2 accountants, 3 executives, 1 processing department head,
↔ 4 processing staff, 1 graphic designer and 1 video/marketing specialist

☑ With this rule consistently changing the budget allotted to manage this project is $1 mill with the current cost totaling $500k.

☑ This project has been in place since March 2016 and is expected to be finished by June 2019.

☑ Spin off projects that have come from this project are:
↔ Commissions System Upgrade
↔ Commissions Data Feed Application Build Out
↔ Forms Revisions Process Project
↔ Asset Based Pricing Project

Paperless Business Submission Process Project

 Advanced highly visible paperless document management order entry system fitted to securities and insurance processing needs. Major milestone of initial deployment reached. Pursuing additional phases to creative additional efficiency and scalability.docupace

☑ This project was to develop and manage an advanced paperless document management order entry system fitted to securities and insurance processing needs.

☑ I oversaw the CRM system field mapping.

☑ Coordinated firm IT project and maintenance teams with distributed teams of vendor utilizing SCRUM to manage projects and support operations.

☑ I Managed 4 vendors.

☑ This project consisted of 11 team members and myself
↔ 1 IT department head, 1 software engineer, 1 processing department head, 2 processing staff
↔ 2 project managers, 1 business analyst, 1 support technologist and 2 interns

☑ The budget for this project was $400k
↔ Budget went $5k over due to vendor complications

☑ The schedule of this project was 24 months. January 2016 – December 2017
↔ We met the schedule deadline.

Win Ops Upgrade Project – Phase 1 and 2

Assumed commissions compliance database cleanup endeavor as a firm wide and much expanded efficiency project. Corrected severely outdated programming winopsadvancing to cutting edge levels – increasing data purge capacity, data input automation, compliance, and efficiency — previously only hoped for. Additional phases underway due to this accomplishment.

☑  Scoped project with available SME resources but rapidly discovered that considerable effort would be required.

☑ Coordinated System Wide Upgrade

↔ Added servers to intranet structure to accommodate a long overdue programming upgrade.

↔ Coordinated inter-departmental communications to accommodate and take advantage of new features.

↔ Managed company wide disruption to allow System Upgrade.

↔ Managed success testing.


☑ This project consisted of 9 team members and myself
↔ 1 commissions specialist, 1 processing department head, 1 attorney
↔ 1 compliance specialist, 1 compliance staff, 2 IT engineers and 2 interns

☑ The budget for this project was $150,000
↔ Actual cost $145,000

☑ Project has two phases
↔ June 2016-July 2017 – Sufficient Data Purge for Upgrade

↔ August 2017-June 2018 – Processing Department Clean Up Activity

 ★ Win Ops Upgrade Project – Upgrade Data Feed Access

☑ This project consisted of 3 team members and myself
↔ 1 commissions specialist, 1 attorney and 1 accountant

☑ Expected 10 Year Cost is $75,000
↔ Actual to date is $53,000

☑ This project actively proceeded from October 2016 through September 2017

Win Ops Automate Data Downloads to Replace Manual Entry Process

☑ This project consisted of 2 team members and myself
↔ 1 commissions specialist, 1 processing specialist

☑ This project active from October 2017 through June 2018

Major Clearing Firm Data Conversion

Assumed oversight of and successfully completed highly visible and impactful clearing house conversion project. Involved coordination of technical platform changes, request for and processing of 5,400 account paperwork sets, affecting 100 plus advisory practices as well as the entire investment firm staff.

☑ This project consisted of  9 co-located team members and myself
↔ 3 executives, 1 corporate attorney and 1 IT engineer

↔ 3 processing staff, 1 processing department head

☑ This project consisted of  10 distributed team members
↔ 1 client relationship manager, 1 client accounts manager, 2 project managers

↔ 1 business analyst, 5 processing staff

☑ Expected Cost was $200,000
↔ Actual was $192,000

Additional Projects of Limited Scope and Cost

  • Asset Based Pricing
  • Forms Revision Project / Process
  • Development of Web Based Knowledge Base for Clients
  • Adviser Training Projects
  • Staff Training Projects
  • Marketing and Recruiting Project
  • Marketing with Social Media Project
  • E Delivery Brokerage Project
  • Incorporate Interns into Project Management Department
  • Multiple Firm Wide Community Service Projects